Full text of CASCADE FINANCIAL MANAGEMENT, INC.'s X-17A-5 filed 2020-02-26 (period 2019-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ **UNITED STATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** ## **ANNUAL AUDITED REPORT FORM X-17 A-5 PARTIII** 0MB APPROVAL 0MB Number: 3235-0123 Expires: August 31, 2020 Estimated average burden hours per response ...... 12.00 | SE<br>C<br>FI<br>LE<br>N<br>UM | BE<br>R | |--------------------------------|---------| | -5<br>8<br>3<br>7<br>3<br>0 | | **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section** 17 of the **Securities Exchange Act** of **1934 and Rule 17a-5 Thereunder** | R<br>E<br>P<br>O<br>R<br>T<br>F<br>O<br>R<br>T<br>H<br>E<br>P<br>E<br>R<br>IO<br>D<br>B<br>E<br>G | IN<br>N<br>IN<br>G<br>0<br>1/<br>0<br>1/<br>2<br>0<br>1<br>9 | A<br>N<br>D<br>E<br>N<br>D<br>IN<br>G<br>1<br>2<br>/3<br>1/ | 2<br>0<br>1<br>9 | | |------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------|-------------------------------------------------------------|--| | | M<br>M<br>/D<br>D/<br>YY | | M<br>M<br>ID<br>DI<br>Y<br>Y | | | | A<br>R<br>E<br>G<br>I<br>S<br>T<br>R<br>A<br>N<br>T<br>I<br>D<br>E<br>N<br>T<br>I<br>F<br>I<br>C<br>A | T<br>I<br>O<br>N | | | | N<br>A<br>M<br>E<br>O<br>F<br>B<br>R<br>O<br>K<br>ER<br>-D<br>E<br>A<br>LE<br>R<br>: C<br>d<br>F<br>in<br>ia<br>l<br>M<br>In<br>t<br>a<br>s<br>c<br>a<br>e<br>a<br>n<br>c<br>a<br>n<br>a<br>g<br>e<br>m<br>e<br>n<br>c | | | O<br>IC<br>S<br>O<br>FF<br>IA<br>L<br>U<br>E<br>N<br>LY | | | A<br>D<br>D<br>R<br>E<br>SS<br>O<br>F<br>PR<br>IN<br>C<br>IP<br>A<br>L<br>PL<br>A<br>C<br>E<br>O<br>F<br>B<br>U<br>SI<br>N<br>E<br>SS<br>(D<br>P<br>.O<br>. B<br>N<br>)<br>t u<br>:<br>o<br>no<br>se<br>ox<br>o. | | | FI<br>R<br>M<br>I<br>.D<br>N<br>O | | | 9<br>5<br>0<br>1<br>7<br>th<br>S<br>S<br>it<br>9<br>5<br>tr<br>t<br>e<br>e<br>e<br>u | 0 | | | | | | d<br>(N<br>St<br>et)<br>o.<br>an<br>re | | | | | | 0<br>0 | 8<br>0<br>2 | 0<br>2 | | | (C<br>ity<br>) | (S<br>e)<br>tat | (Z<br>ip<br>C | od<br>e) | | | N<br>A<br>M<br>E<br>A<br>N<br>D<br>T<br>E<br>L<br>E<br>PH<br>O<br>N<br>E<br>N<br>U<br>M<br>B<br>Jo<br>hn<br>V<br>S<br>t<br>an<br>an | E<br>R<br>O<br>F<br>P<br>ER<br>SO<br>N<br>T<br>O<br>C<br>O<br>N<br>T<br>A<br>C<br…Read the full text as markdown